Amy Watson, Author at Red Oak Compliance Solutions

Monday, October 9 2017

NASAA Releases 2017 Coordinated Exams Report

This biannual report can be an important compliance resource. Reviewing this report can help firms determine if any compliance changes need to be implemented. Data from the report shows that... [...]

Monday, September 18 2017

BD Compliance IA Compliance News

Fiduciary Duty and Mutual Funds

Many individuals are of the impression that there is nothing safer than a mutual fund. Additionally, many feel that a mutual fund is the best way for an individual with... [...]

Sunday, September 10 2017

News

Major Insurance Company Fined Millions of Dollars for Data Breach

Currently, there is no shortage of regulatory and legal actions against companies that fail to maintain a robust and comprehensive cybersecurity program. One recent action involved Nationwide Mutual Insurance Company... [...]

Sunday, September 3 2017

BD Compliance IA Compliance News

NASAA Releases 2017 Coordinated Exams Report

NASAA Releases 2017 Coordinated Exams Report

Fiduciary Duty and Mutual Funds

Major Insurance Company Fined Millions of Dollars for Data Breach

Monitoring Employee Trades and Reporting

Standing Letter of Authorization and Avoiding Unintentional Custody

SEC Imposes Civil Penalty Against Registered Representative Who Defrauded NFL Players

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